Khoury Roy

SEC source: 0001639691-21-000021 · wf-form4_161481778562612.xml · derivative · entry 6

Khoury Roy · CIK 0001680129 · President, International

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 1,347 shares

Expires 2021-03-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · derivative.exercise_price: Each PSU represents a contingent right to receive one ordinary share of the Company in accordance with the terms of the Plan and the award agreement.

F8 · derivative.exercise_date: On March 15, 2018, reporting person was granted PSUs to vest or lapse on the filing of the Company's 2020 Form 10-K based on how the Company's cumulative adjusted free cash flow for fiscal years 2018, 2019 and 2020 compares to a target.

F8 · derivative.expiration_date: On March 15, 2018, reporting person was granted PSUs to vest or lapse on the filing of the Company's 2020 Form 10-K based on how the Company's cumulative adjusted free cash flow for fiscal years 2018, 2019 and 2020 compares to a target.

F6 · balance_after: This number reflects the number of derivative securities beneficially owned following reported transaction for this specific grant.

SEC source: 0001639691-21-000021 · wf-form4_161481778562612.xml · derivative · entry 5

Khoury Roy · CIK 0001680129 · President, International

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 1,359 shares

Expires 2021-03-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one ordinary share of the Company in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan (the Plan) and the award agreement.

F5 · derivative.exercise_date: On May 5, 2017, reporting person was granted RSUs, of which the last 25% vested on March 1, 2021.

F5 · derivative.expiration_date: On May 5, 2017, reporting person was granted RSUs, of which the last 25% vested on March 1, 2021.

F6 · balance_after: This number reflects the number of derivative securities beneficially owned following reported transaction for this specific grant.

SEC source: 0001639691-21-000021 · wf-form4_161481778562612.xml · nonDerivative · entry 4

Khoury Roy · CIK 0001680129 · President, International

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,695

F2 · shares: The referenced shares were withheld from distribution at the request of reporting person to satisfy tax liability.

SEC source: 0001639691-21-000021 · wf-form4_161481778562612.xml · nonDerivative · entry 3

Khoury Roy · CIK 0001680129 · President, International

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,329

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · price: Reporting person had vested performance stock units (PSUs) settled in ordinary shares of the Company.

SEC source: 0001639691-21-000021 · wf-form4_161481778562612.xml · nonDerivative · entry 2

Khoury Roy · CIK 0001680129 · President, International

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,982

F2 · shares: The referenced shares were withheld from distribution at the request of reporting person to satisfy tax liability.

SEC source: 0001639691-21-000021 · wf-form4_161481778562612.xml · nonDerivative · entry 1

Khoury Roy · CIK 0001680129 · President, International

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,621

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Reporting person had vested restricted stock units (RSUs) settled in ordinary shares of LivaNova PLC (the Company), GBP 1.00 par value.

SEC source: 0001639691-20-000131 · wf-form4_160824160338287.xml · derivative · entry 3

Khoury Roy · CIK 0001680129 · President, International

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,956

Underlying: Ordinary Shares · 515 shares

Expires 2020-12-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one Ordinary Share of the Company, GBP 1.00 par value, in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan (the Plan) and the award agreement.

F4 · derivative.exercise_date: The reporting person was granted RSUs on December 15, 2017, subject to a four-year vesting schedule, which began on December 15, 2018. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the Plan and the award agreement.

F4 · derivative.expiration_date: The reporting person was granted RSUs on December 15, 2017, subject to a four-year vesting schedule, which began on December 15, 2018. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the Plan and the award agreement.

SEC source: 0001639691-20-000131 · wf-form4_160824160338287.xml · nonDerivative · entry 2

Khoury Roy · CIK 0001680129 · President, International

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,262

F2 · shares: The referenced shares were withheld from distribution at the request of reporting person to satisfy tax liability.

SEC source: 0001639691-20-000131 · wf-form4_160824160338287.xml · nonDerivative · entry 1

Khoury Roy · CIK 0001680129 · President, International

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,505

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Reporting person had vested restricted stock units (RSUs) settled in ordinary shares of LivaNova PLC (the Company), GBP 1.00 par value.

SEC source: 0001639691-20-000103 · wf-form4_159706060327629.xml · derivative · entry 3

Khoury Roy · CIK 0001680129 · President, International

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,471

Underlying: Ordinary Shares · 573 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one Ordinary Share of the Company, GBP 1.00 par value, in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan (the Plan) and the award agreement.

F4 · derivative.exercise_date: Reporting person was granted RSUs to vest and forfeiture restrictions thereon to lapse on August 5, 2016, subject to continued service during the vesting period and the RSU Agreement.

F4 · derivative.expiration_date: Reporting person was granted RSUs to vest and forfeiture restrictions thereon to lapse on August 5, 2016, subject to continued service during the vesting period and the RSU Agreement.

SEC source: 0001639691-20-000103 · wf-form4_159706060327629.xml · nonDerivative · entry 2

Khoury Roy · CIK 0001680129 · President, International

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,990

F2 · shares: The referenced shares were withheld from distribution at the request of reporting person to satisfy tax liability.

SEC source: 0001639691-20-000103 · wf-form4_159706060327629.xml · nonDerivative · entry 1

Khoury Roy · CIK 0001680129 · President, International

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,260

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Reporting person had vested restricted stock units (RSUs) settled in ordinary shares of LivaNova PLC (the Company), GBP 1.00 par value.

SEC source: 0001639691-20-000056 · wf-form4_158888554676423.xml · derivative · entry 3

Khoury Roy · CIK 0001680129 · President, International

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,044

Underlying: Ordinary Shares · 453 shares

Expires 2020-05-05

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one Ordinary Share of the Company, GBP 1.00 par value, in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan (the Plan) and the award agreement.

F4 · derivative.exercise_date: Reporting person was granted RSUs subject to a four-year vesting schedule, vesting 25% on each of the first four anniversaries of May 5, 2017, subject to continued service during the vesting period and the award agreement.

F4 · derivative.expiration_date: Reporting person was granted RSUs subject to a four-year vesting schedule, vesting 25% on each of the first four anniversaries of May 5, 2017, subject to continued service during the vesting period and the award agreement.

SEC source: 0001639691-20-000056 · wf-form4_158888554676423.xml · nonDerivative · entry 2

Khoury Roy · CIK 0001680129 · President, International

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,687

F2 · shares: The referenced shares were withheld from distribution at the request of reporting person to satisfy tax liability.

SEC source: 0001639691-20-000056 · wf-form4_158888554676423.xml · nonDerivative · entry 1

Khoury Roy · CIK 0001680129 · President, International

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,900

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Reporting person had vested restricted stock units (RSUs) settled in ordinary shares of LivaNova PLC (the Company), GBP 1.00 par value.

SEC source: 0001639691-20-000031 · wf-form4_158578685196945.xml · derivative · entry 8

Khoury Roy · CIK 0001680129 · President, International

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,814

Underlying: Ordinary Shares · 15,703 shares

Expires not disclosed

F10 · derivative.exercise_price: $43.57 Conversion or Exercise Price of Derivative Security.

F11 · derivative.exercise_date: Reporting person was granted an award of stock appreciation rights ("SARs"). Subject to the terms and conditions of the Plan and the SAR Agreement, the SARs shall vest in equal installments of 25% on each of the first four anniversaries of the grant date, March 30, 2020.

F11 · derivative.expiration_date: Reporting person was granted an award of stock appreciation rights ("SARs"). Subject to the terms and conditions of the Plan and the SAR Agreement, the SARs shall vest in equal installments of 25% on each of the first four anniversaries of the grant date, March 30, 2020.

SEC source: 0001639691-20-000031 · wf-form4_158578685196945.xml · derivative · entry 7

Khoury Roy · CIK 0001680129 · President, International

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,497

Underlying: Ordinary Shares · 5,737 shares

Expires not disclosed

F7 · derivative.exercise_price: Each performance stock unit (PSU) represents a contingent right to receive one Ordinary Share of the Company in accordance with the terms of the Plan and the award agreement.

F9 · derivative.exercise_date: On March 30, 2020, reporting person was granted 5,737 PSUs to vest or lapse on the filing of the Company's Annual Report on Form 10-K for the fiscal year ending December 31, 2022 ("2022 Form 10-K") based on the rank of the Company's total shareholder return for the three-year period ending December 31, 2022 relative to the total shareholder return of a peer group of companies, as determined by the Plan Administrator. The form of agreement for this award was filed with the Securities and Exchange Commission in a Current Report on Form 8-K on April 1, 2019. The number included in column 5 of Table II reflects the target number of PSUs eligible for vesting.

F9 · derivative.expiration_date: On March 30, 2020, reporting person was granted 5,737 PSUs to vest or lapse on the filing of the Company's Annual Report on Form 10-K for the fiscal year ending December 31, 2022 ("2022 Form 10-K") based on the rank of the Company's total shareholder return for the three-year period ending December 31, 2022 relative to the total shareholder return of a peer group of companies, as determined by the Plan Administrator. The form of agreement for this award was filed with the Securities and Exchange Commission in a Current Report on Form 8-K on April 1, 2019. The number included in column 5 of Table II reflects the target number of PSUs eligible for vesting.

SEC source: 0001639691-20-000031 · wf-form4_158578685196945.xml · derivative · entry 6

Khoury Roy · CIK 0001680129 · President, International

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,760

Underlying: Ordinary Shares · 5,737 shares

Expires not disclosed

F7 · derivative.exercise_price: Each performance stock unit (PSU) represents a contingent right to receive one Ordinary Share of the Company in accordance with the terms of the Plan and the award agreement.

F8 · derivative.exercise_date: On March 30, 2020, reporting person was granted 5,737 PSUs to vest or lapse on the filing of the Company's 2022 Form 10-K for the fiscal year ending December 31, 2022 based on how the Company's cumulative adjusted free cash flow for fiscal years 2020, 2021 and 2022 compares to a target determined by the Plan Administrator. The form of agreement for this award was filed with the Securities and Exchange Commission on April 1, 2019. The number included in column 5 of Table II reflects the target number of PSUs eligible for vesting.

F8 · derivative.expiration_date: On March 30, 2020, reporting person was granted 5,737 PSUs to vest or lapse on the filing of the Company's 2022 Form 10-K for the fiscal year ending December 31, 2022 based on how the Company's cumulative adjusted free cash flow for fiscal years 2020, 2021 and 2022 compares to a target determined by the Plan Administrator. The form of agreement for this award was filed with the Securities and Exchange Commission on April 1, 2019. The number included in column 5 of Table II reflects the target number of PSUs eligible for vesting.

SEC source: 0001639691-20-000031 · wf-form4_158578685196945.xml · derivative · entry 5

Khoury Roy · CIK 0001680129 · President, International

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,023

Underlying: Ordinary Shares · 4,590 shares

Expires not disclosed

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one Ordinary Share of the Company, GBP 1.00 par value, in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan (the Plan) and the award agreement.

F6 · derivative.exercise_date: Reporting person was granted RSUs subject to a two-year vesting schedule, vesting 50% on each of the first two anniversaries of March 30, 2020, subject to continued service during the vesting period and the award agreement.

F6 · derivative.expiration_date: Reporting person was granted RSUs subject to a two-year vesting schedule, vesting 50% on each of the first two anniversaries of March 30, 2020, subject to continued service during the vesting period and the award agreement.

SEC source: 0001639691-20-000031 · wf-form4_158578685196945.xml · derivative · entry 4

Khoury Roy · CIK 0001680129 · President, International

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,433

Underlying: Ordinary Shares · 5,737 shares

Expires not disclosed

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one Ordinary Share of the Company, GBP 1.00 par value, in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan (the Plan) and the award agreement.

F5 · derivative.exercise_date: Reporting person was granted RSUs subject to a four-year vesting schedule, vesting 25% on each of the first four anniversaries of March 30, 2020, subject to continued service during the vesting period and the award agreement.

F5 · derivative.expiration_date: Reporting person was granted RSUs subject to a four-year vesting schedule, vesting 25% on each of the first four anniversaries of March 30, 2020, subject to continued service during the vesting period and the award agreement.

SEC source: 0001639691-20-000031 · wf-form4_158578685196945.xml · derivative · entry 3

Khoury Roy · CIK 0001680129 · President, International

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,696

Underlying: Ordinary Shares · 540 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one Ordinary Share of the Company, GBP 1.00 par value, in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan (the Plan) and the award agreement.

F4 · derivative.exercise_date: Reporting person was granted RSUs subject to a four-year vesting schedule, vesting 25% on each of the first four anniversaries of March 30, 2019, subject to continued service during the vesting period and the award agreement.

F4 · derivative.expiration_date: Reporting person was granted RSUs subject to a four-year vesting schedule, vesting 25% on each of the first four anniversaries of March 30, 2019, subject to continued service during the vesting period and the award agreement.

SEC source: 0001639691-20-000031 · wf-form4_158578685196945.xml · nonDerivative · entry 2

Khoury Roy · CIK 0001680129 · President, International

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,447

F2 · shares: The referenced shares were withheld from distribution at the request of reporting person to satisfy tax liability.

SEC source: 0001639691-20-000031 · wf-form4_158578685196945.xml · nonDerivative · entry 1

Khoury Roy · CIK 0001680129 · President, International

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,701

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Reporting person had vested restricted stock units (RSUs) settled in ordinary shares of LivaNova PLC (the Company), GBP 1.00 par value.

SEC source: 0001639691-20-000027 · wf-form4_158448589365075.xml · derivative · entry 3

Khoury Roy · CIK 0001680129 · President, International

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,236

Underlying: Ordinary Shares · 589 shares

Expires 2020-03-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one Ordinary Share of the Company, GBP 1.00 par value, in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan (the Plan) and the award agreement.

F4 · derivative.exercise_date: Reporting person was granted RSUs subject to a four-year vesting schedule, vesting 25% on each of the first four anniversaries of March 15, 2018, subject to continued service during the vesting period and the award agreement.

F4 · derivative.expiration_date: Reporting person was granted RSUs subject to a four-year vesting schedule, vesting 25% on each of the first four anniversaries of March 15, 2018, subject to continued service during the vesting period and the award agreement.

SEC source: 0001639691-20-000027 · wf-form4_158448589365075.xml · nonDerivative · entry 2

Khoury Roy · CIK 0001680129 · President, International

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,161

F2 · shares: The referenced shares were withheld from distribution at the request of reporting person to satisfy tax liability.

SEC source: 0001639691-20-000027 · wf-form4_158448589365075.xml · nonDerivative · entry 1

Khoury Roy · CIK 0001680129 · President, International

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,438

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Reporting person had vested restricted stock units (RSUs) settled in ordinary shares (Ordinary Shares) of LivaNova PLC (the Company), GBP 1.00 par value.

SEC source: 0001639691-20-000023 · wf-form4_158327133872731.xml · derivative · entry 3

Khoury Roy · CIK 0001680129 · President, International

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,825

Underlying: Ordinary Shares · 1,359 shares

Expires 2020-03-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one Ordinary Share of the Company, GBP 1.00 par value, in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan (the Plan) and the award agreement.

F4 · derivative.exercise_date: On May 5, 2017, reporting person was granted RSUs that vest 25% on the second day after release of LivaNova's full-year 2019 financial results, February 27, 2020 (Measure Date), provided and to the extent that a market condition is achieved on the Measure Date. The market condition is a stock price that ranges between a threshold price, at which one-third of the RSUs become eligible for vesting and a target price, at which all of the RSUs become eligible for vesting, with the number of RSUs eligible for vesting at a price between the threshold price and the target price determined by linear interpolation. The number included in column 7 of Table II reflects the RSUs eligible for vesting at the target price subject to continued service during the vesting period and the award agreement.

F4 · derivative.expiration_date: On May 5, 2017, reporting person was granted RSUs that vest 25% on the second day after release of LivaNova's full-year 2019 financial results, February 27, 2020 (Measure Date), provided and to the extent that a market condition is achieved on the Measure Date. The market condition is a stock price that ranges between a threshold price, at which one-third of the RSUs become eligible for vesting and a target price, at which all of the RSUs become eligible for vesting, with the number of RSUs eligible for vesting at a price between the threshold price and the target price determined by linear interpolation. The number included in column 7 of Table II reflects the RSUs eligible for vesting at the target price subject to continued service during the vesting period and the award agreement.

SEC source: 0001639691-20-000023 · wf-form4_158327133872731.xml · nonDerivative · entry 2

Khoury Roy · CIK 0001680129 · President, International

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,849

F2 · shares: The referenced shares were withheld from distribution at the request of reporting person to satisfy tax liability.

SEC source: 0001639691-20-000023 · wf-form4_158327133872731.xml · nonDerivative · entry 1

Khoury Roy · CIK 0001680129 · President, International

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,488

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Reporting person had vested restricted stock units (RSUs) settled in ordinary shares (Ordinary Shares) of LivaNova PLC (the Company), GBP 1.00 par value.